Month: September 2009

With the passage of the Sarbanes Oxley Act, Congress imposed an array of duties on corporate executives. Section 302 for example requires the CEO and CFO to file certifications regarding the financial information of the company. Section 304(a) requires those …

ARE CORPORTE EXECUTIVES PLAYING RUSSIAN ROUELETTE? Read More »

Congress continued to consider financial market reform this week with additional testimony from SEC Chairman Schapiro and others. SEC enforcement filed a settled administrative proceeding based on claimed violations of Regulation FD, an insider trading action, and a settled case …

THIS WEEK IN SECURITIES LITIGATION (September 25, 2009) Read More »